Risk Officer
Core
Oversees risk, supervisory, and compliance functions for branch locations, ensuring adherence to regulations and firm policies.
Role type
Senior IC risk and compliance officer
Builds
Compliant operating environment and risk mitigation strategies for Morgan Stanley Wealth Management
Domain
Financial services / Wealth Management / Regulatory Compliance
Required skills
Regulatory compliance knowledge, supervisory experience, risk management, audit preparation, client suitability assessment, policy implementation, data security monitoring, leadership
Preferred skills
Series 7, 8, 63, 65 licenses, experience with SEC/FINRA policies, ability to interact with Financial Advisors
Technologies
Morgan Stanley Wealth Management policies, Branch Supervisory Manual, Special Investigation Unit systems
Responsibilities
Monitor and implement risk management procedures including data security, liaise with Legal and Compliance Division on complaints and litigation, support audit preparation and remediation, oversee branch supervisory coverage, manage people risk, prepare for Credit Committee matters, provide coaching on compliance policies.
Seniority
Senior, hands-on IC